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Mutual Funds: Advertising (12)
Your search for Mutual Funds: Advertising returned 12 results.
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5/24/2018 | Content area: Investment Adviser
Fewer than two dozen comments came into the SEC after its March proposal to reverse direction on its liquidity risk management disclosure rule (IA Wat...
12/08/2017 | Content area: Investment Adviser
The documents also contained material misstatements concerning the inflated, hypothetical, and backtested performance track record of the Fund’s sub-a...
5/03/2017 | Content area: Investment Adviser
These proceedings arise from the improper use of mutual fund assets to pay nearly $18 million for the distribution and marketing of fund shares outsid...
1/01/2015 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
(a) Under the federal securities laws, including section 17(a) of the Securities Act of 1933 (15 U.S.C. 77q(a)) and section 10(b) of the Securities Ex...
1/01/2015 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
(a) Scope of rule. This section applies to an advertisement or other sales material (advertisement) with respect to securities of an investment compan...
1/01/2015 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
Any advertisement, pamphlet, circular, form letter, or other sales literature addressed to or intended for distribution to prospective investors that ...
1/01/2015 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
(a) For purposes of section 35(d) of the Act (15 U.S.C. 80a-34(d)), a materially deceptive and misleading name of a Fund includes: (1) Names suggestin...
3/25/2013 | Content area: Investment Adviser
This is news worthy of a tweet. The SEC says "certain interactive content" posted to social media sites by mutual fund advisers need not be submitted ...
5/28/2012 | Content area: Investment Adviser
Target date funds are proving so popular the SEC's been pushing the idea of helping investors understand them better through tables, graphs, "glide pa...
8/08/2011 | Content area: Investment Adviser
Another in the string of Dodd-Frank spurred reports popped out of the GAO last month. This one looked at rules around Mutual Fund Advertising.Of cours...
10/30/2002 | Content area: Investment Adviser
No-Action Letter under Investment Company Act of 1940 - Section 34(b) Securities Act of 1933 - Section 5(b) ...
2/27/1997 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund


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